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1、中國(guó)證券投資基金發(fā)展困境研究 本篇論文目錄導(dǎo)航： 中國(guó)證券投資基金發(fā)展困境研究證券投資基金行業(yè)概況我國(guó)證券投資基金的作用及面臨的問(wèn)題我國(guó)證券投資基金發(fā)展的對(duì)策建議我國(guó)證券投資基金發(fā)展的案例分析國(guó)內(nèi)證券投資基金行業(yè)問(wèn)題研究結(jié)論與參考文獻(xiàn) 摘 要 上世紀(jì)九十年代，伴隨著我國(guó)改革開(kāi)放步伐的穩(wěn)步邁進(jìn)，金融市場(chǎng)不斷地?cái)U(kuò)大與完善，傳統(tǒng)的上交所、深交所場(chǎng)內(nèi)股票市場(chǎng)及場(chǎng)外的國(guó)債柜臺(tái)市場(chǎng)已經(jīng)遠(yuǎn)遠(yuǎn)不能滿(mǎn)足普通投資者的投資需求，在此大背景下以證券投資基金為代表的新興市場(chǎng)孕育而生。而進(jìn)入二十一世紀(jì)以來(lái)，我國(guó)證券投資基金業(yè)迎來(lái)跨越式飛速發(fā)展，基金產(chǎn)品種類(lèi)日漸豐富，投資范圍日趨多元化，基金管理人和托管人更加專(zhuān)業(yè)化，因此證
2、券投資基金在我國(guó)被越來(lái)越多的投資者所青睞。我國(guó)證券投資基金業(yè)的發(fā)展對(duì)于改善我國(guó)證券市場(chǎng)投資者結(jié)構(gòu)、促進(jìn)上市公司法人治理結(jié)構(gòu)優(yōu)化、加快儲(chǔ)蓄向投資的轉(zhuǎn)化、繁榮資本市場(chǎng)等方面起到了重要的作用?？v觀證券投資基金的發(fā)展現(xiàn)狀，發(fā)達(dá)國(guó)家證券投資基金發(fā)展迅猛、勢(shì)頭強(qiáng)勁，其基金業(yè)已經(jīng)成為與銀行業(yè)、證券業(yè)、保險(xiǎn)業(yè)并駕齊驅(qū)的金融體系的四大支柱產(chǎn)業(yè)之一。與此同時(shí)，我國(guó)證券投資基金業(yè)也進(jìn)入了全面發(fā)展時(shí)期，基金規(guī)?？焖僭鲩L(zhǎng)、基金品種日趨多樣化、以外資銀行為主體的海外金融資本全面進(jìn)入中國(guó)基金市場(chǎng)，中外合資的基金公司與日俱增。然而伴隨著證券投資基金行業(yè)的不斷發(fā)展，其存在的問(wèn)題也日漸凸顯出來(lái)，揭示證券投資基金行業(yè)所存在的問(wèn)題并
3、采取措施予以有效的解決不僅關(guān)系到該行業(yè)未來(lái)的發(fā)展，還對(duì)中國(guó)資本市場(chǎng)的穩(wěn)定起著至關(guān)重要的作用。本文通過(guò)理論分析與實(shí)證研究對(duì)證券投資基金行業(yè)發(fā)展所面臨的問(wèn)題進(jìn)行深入探討，著重指出證券市場(chǎng)不成熟、基金公司內(nèi)部控制混亂、政策等相關(guān)法律不健全、監(jiān)管力度不夠是影響我國(guó)證券投資基金發(fā)展的主要問(wèn)題。然而從市場(chǎng)的發(fā)展前景來(lái)看，我國(guó)證券投資基金市場(chǎng)作為資本市場(chǎng)中重要的組成部分依然有著相對(duì)廣闊的空間，在金融改革浪潮中持續(xù)完善證券投資基金管理要從改善證券市場(chǎng)環(huán)境，完善法律法規(guī)體系，加強(qiáng)基金托管人的監(jiān)督工作、強(qiáng)化基金公司的激勵(lì)和約束機(jī)制、加強(qiáng)基金公司內(nèi)部控制、加大證券投資基金行業(yè)監(jiān)管力度等方面及時(shí)采取措施，以推動(dòng)我國(guó)證
4、券投資基金行業(yè)的健康發(fā)展。關(guān)鍵詞：證券投資基金，內(nèi)部控制，監(jiān)管AbstractIn the 1990s, along with China s reform and opening up steadily forward, thefinancial markets continue to expand and improve the traditional the Shanghai StockExchange, the Shenzhen Stock Exchange stock market inside and outside the nationaldebt counter market
5、has been far from ordinary investors meet investment demand, inthis context of securities investment funds represented by the emerging markets bred.And the twenty-first century, China s securities investment fund industry is facingrapid development by leaps and bounds, fund product range increasingl
6、y rich range ofincreasingly diversified investment fund managers and trustees more specialized, andtherefore are more securities investment funds in our country An increasing number ofinvestors favor. Development of China s securities investment fund industry toimprove the structure of China s stock
7、 market investors and promoting corporategovernance structure of listed companies to optimize and accelerate transformation ofsavings into investment areas, prosperous capital markets play an important role.Throughout the current development of securities investment funds, securitiesinvestment funds
8、 in developed countries is developing rapidly, the strong momentumof its fund industry has become one of the four pillar industries of banking, securitiesand insurance industries to keep pace with the financial system. At the same time,China s securities investment fund industry has entered a period
9、 of development, therapid growth of the fund size, fund products is becoming more diverse, foreignfinancial capital to foreign banks full access to China as the main market fund, a jointventure fund company growing. However, with the continuous development of thesecurities investment fund industry,
10、its problems are increasingly prominent,securities investment fund industry reveal the problems and to take effective measuresto resolve not only to the future development of the industry, but also on China scapital market stability plays a vital role.Through theoretical analysis and empirical resea
11、rch on the problem ofdevelopment of the securities investment fund industry is facing an in-depthdiscussion highlighted the immature stock market, fund companies to control internalchaos, policy and other relevant laws are not perfect, inadequate supervision is theimpact of China s securities invest
12、ment fund the main problem of development.However, from the perspective of the development prospects of the market, China ssecurities investment fund market as a capital market still has an important part of arelatively broad space, the wave of reforms in the financial securities investment fundmana
13、gement continued to improve from the stock market to improve the environment,improve laws and regulations system to take timely measures to strengthen oversightof the fund custodian, fund companies to strengthen the incentive and restraintmechanisms, strengthen the Fund s internal control, increased
14、 supervision of thesecurities investment fund industry, so as to promote the healthy development ofChina s securities investment fund industry.Keywords:Securities investment fund, Internal control, Supervision目錄第 1 章 引言1.1 研究的背景與目的1.2 研究?jī)?nèi)容1.3 研究方法第 2 章 證券投資基金行業(yè)概況2.1 證券投資基金概述2.1.1 證券投資基金含義2.1.2 證券投資基
15、金類(lèi)型2.1.3 證券投資基金的功能2.2 證券投資基金的發(fā)展歷程回顧2.2.1 證券投資基金的啟蒙時(shí)期2.2.2 證券投資基金的產(chǎn)生時(shí)期2.2.3 證券投資基金全面發(fā)展時(shí)期2.3 我國(guó)證券投資基金的研究綜述第 3 章 我國(guó)證券投資基金的作用及面臨的問(wèn)題3.1 我國(guó)證券投資基金發(fā)展的作用3.1.1 發(fā)展證券投資基金有利于社會(huì)融資結(jié)構(gòu)的優(yōu)化3.1.2 發(fā)展證券投資基金有利于優(yōu)化金融結(jié)構(gòu)并促進(jìn)經(jīng)濟(jì)增長(zhǎng)3.1.3 發(fā)展證券投資基金有利于證券市場(chǎng)的穩(wěn)定和健康發(fā)展3.1.4 發(fā)展證券投資基金有利于完善金融與社會(huì)保障體系3.2 我國(guó)證券投資基金發(fā)展的主要問(wèn)題3.2.1 國(guó)內(nèi)證券市場(chǎng)環(huán)境制約行業(yè)的發(fā)展3.2
16、.2 基金管理公司內(nèi)部控制存在隱患3.2.3 證券投資基金法律法規(guī)和監(jiān)管制度不健全第 4 章 我國(guó)證券投資基金發(fā)展的對(duì)策建議4.1 改善證券市場(chǎng)環(huán)境4.1.1 提升上市公司質(zhì)量水平4.1.2 引導(dǎo)基金投資者樹(shù)立理性的投資觀念4.1.3 完善證券投資基金市場(chǎng)基礎(chǔ)設(shè)施和條件4.2 加強(qiáng)基金管理公司內(nèi)部控制4.2.1 完善內(nèi)部治理結(jié)構(gòu)4.2.2 完善內(nèi)部監(jiān)管制度4.2.3 強(qiáng)化激勵(lì)約束機(jī)制4.3 健全基金監(jiān)管體系4.3.1 探求監(jiān)管思路的市場(chǎng)化4.3.2 加強(qiáng)基金托管人的監(jiān)督4.3.3 完善監(jiān)管法律體制第 5 章 案例分析5.1 案例背景5.2 案例問(wèn)題5.3 案例解析第 6 章 結(jié)論參考文獻(xiàn)致謝返回本篇論文導(dǎo)航
中國(guó)證券投資基金發(fā)展困境研究
